Broker Check

Customer Notice

Business Continuity Plan

Gerwin Group has developed a Business Continuity Plan on how we will respond to events that significantly disrupt our business.  Since the timing and impact of disasters and disruptions is unpredictable, we will have to be flexible in responding to actual events as they occur.  With that in mind, we are providing you with this information on our business continuity plan.

Contacting Us – If after a significant business disruption you cannot contact us as you usually do at (805) 494-5005 or 1-800-973-7775, you should call our alternative number (805) 807-1697 or refer to our website at

Our Business Continuity Plan – We plan to quickly recover and resume business operations after a significant business disruption and respond by safeguarding our employees and property, making a financial and operational assessment, protecting the firm’s books and records, and allowing our customers to transact business.  In short, our business continuity plan is designed to permit our firm to resume operations as quickly as possible, given the scope and severity of the significant business disruption. 

Our business continuity plan addresses: data back up and recovery; all mission critical systems; financial and operational assessments; alternative communications with customers, employees, and regulators; alternate physical location of employees; critical supplier, contractor, bank and counter-party impact; regulatory reporting; and assuring our customers prompt access to their funds and securities if we are unable to continue our business.

While every emergency situation poses unique problems based on external factors, such as time of day and the severity of the disruption its our  objectives to restore operations and be able to complete existing transactions and accept new transactions and payments as quickly as possible. 

Varying Disruptions – Significant business disruptions can vary in their scope, such as only our firm, a single building housing our firm, the business district where our firm is located, the city where we are located, or the whole region.  Within each of these areas, the severity of the disruption can also vary from minimal to severe.  In a disruption to only our firm or a building housing our firm, we will transfer our operations to a local site when needed and expect to recover and resume business as quickly as possible.  In a disruption affecting our business district, city, or region, we will transfer our operations to a site outside of the affected area, and recover and resume business as quickly as possible.  In either situation, we plan to continue in business, notify you through our web site or our customer emergency number, (805) 807-1697 on how to contact us.  If the significant business disruption is so severe that it prevents us from remaining in business, we will assure our customer’s prompt notification.

For more information – If you have questions about our business continuity planning, you can contact us at (805) 494-5005   Gerwin Group, Inc.


Gerwin Group. Inc.

 Gerwin Group, Inc. has always worked hard to maintain the highest standards of confidentiality and to respect the privacy of our client relationships. In this regard, we are providing this Privacy Notice to all of our individual clients who obtain financial products and services from us for personal, family  or household purposes. This is in accordance with the Title V of the Grahm-Leach -Bliley Act of 1999 and its implementing regulations. Gerwin Group, Inc. does not sell your personal information to anyone for any reason. This notice supplements any privacy policies or statements we may provide in connection with specific products or services. Your privacy is very important to us. We want you to understand what information we collect and how we use it.
What information we collect and from whom we collect it?
The non-public personal information we collect about you,( your information) comes primarily from the account application or other forms you  submit to us. We may also collect information about your transaction and experiences with us or others relating to the products and services we provide.  We collect personal information about you primarily from your application and client profile form.
Our Disclosure Policy, Categories of information we disclose and to whom we disclose it.
We do not disclose your personal information to anyone except permitted by law. We may disclose personal information about you as authorized by law. This may include sharing your information with non-affiliated companies that perform support services for your account or process your transactions with us, such as a clearing agent. Additionally, it may include disclosing your information pursuant to your expressed written consent to fulfill instructions or to comply with applicable laws and regulations.  These are only examples and there may be other disclosures authorized by law. We cannot prevent those disclosures. You may choose to opt out of this disclosure were applicable by law. If you so choose, please contact our office.

Your right to verify accuracy of information we collect.
You have the right of access and correction with respect to the information collected except information that relates to a claim or a criminal or civil proceeding.

Our security Procedures.
We limit access to your information to those of our employees and service providers who are involved in offering or administering the products or services that we offer. We protect your personal information. The only employees who have access to that information are those who must have it to provide products or services to you. We maintain physical, electronic and procedural safeguards that are designed to comply with federal standards to guard your information. Should our relationship with you end, we would not disclose any personal information about you to anyone except in accordance with this Privacy Policy.

Option to Opt out of Information Sharing.
You have the right to opt out of any information sharing unless it is required by law. Please contact our office at 1-800-973-7775 to request the opt out option.

Request for more detailed information.
This Notice is a summary of Privacy Policy. If you would like more detail, please call us at (800) 973-7775 or (805) 494-5005 or send your request in writing to us at Gerwin Group, Inc. 1575 E Hillcrest Drive, Thousand Oaks, CA 91362.

October 2009
(805) 494-5005